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Deputy Compliance Officer, Investment Management (2-3 days pw)
Boutique investment manager with circa 20 employees seeks a part-time compliance professional with experience gained in the investment management sector. Its client base consists of pension funds, wealth managers and HNW individuals with investments across traditional assets and alternatives, primarily Equity based including listed and private. For 2-3 days per week the Deputy Compliance Officer will assist the Chief Compliance Officer with ensuring the firm meets its FCA & SEC obligations. Amongst other duties the role will include maintenance of the compliance monitoring plan, oversight and review of third-party relationships, submission of regulatory filings, marketing material reviews, support on AML/ KYC and project work on new regulations or investments. Candidates are sought with


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